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保诚集团的争议事件

以下收录公开来源中与该品牌相关的争议事件。列出一条并不表示过错已经证实。

返回词条共 2 条

  1. 2020

    Prudential 投资业务部门同意与 FINRA 达成和解

    和解

    Prudential Investment Management Services 同意就向退休计划客户提供不准确或不完整信息一事向 FINRA 支付 100 万美元罚款。该公司接受罚款和谴责，但未确认或否认监管机构的指控。

    品牌回应

    • 整改 — Prudential Investment Management Services (Pims)

      It did agree, however, to hire an independent consultant to look into and fix the issue brought forward by Finra.

    来源摘录

    • This hindered clients’ ability to choose their investments, Finra said.
    • Prudential Investment Management Services (Pims) has agreed to pay a $1m (£769,354, €901,560) fine to the Financial Industry Regulatory Authority (Finra) for sending the wrong information to retirement plans members.
    来源

  2. 2019

    英国金融行为监管局因年金销售对保诚处以罚款

    罚款或处罚

    英国金融行为监管局宣布对保诚处以23,875,000英镑罚款，原因是其非建议年金销售存在违规。监管机构指出，保诚未能确保客户持续获知货比三家可能获得更好交易。保诚已向17,240名客户提供约1.1亿英镑补偿。该罚款与补偿方案是在监管机构针对上述销售行为采取行动之际公布的。

    英国金融行为监管局宣布对保诚处以23,875,000英镑罚款，原因是其非建议年金销售存在违规，包括未能确保客户持续获知货比三家可能获得更好交易。保诚已向17,240名客户提供约1.1亿英镑补偿。

    品牌回应

    • 退款或补偿 — Prudential

      The company has now offered approximately £110 million in redress to 17,240 customers.

    来源摘录

    • The Financial Conduct Authority, the City watchdog, said the failures caused harm to customers affected by the breaches between July 2008 and September 2017.
    • Prudential has been fined nearly £24m for “serious breaches” after failing to advise customers they might get a better deal if they shopped around for annuities and incentivising staff with spa breaks and weekends away.
    • Prudential apologised to customers and said it hoped to pay compensation by the end of October to most of the 35,000 people it estimates are affected.
    来源